Reg BI and Form CRS Firm Checklist - FINRA
firm, including IRAs) is in the retail customer’s best interest at the time of the recommendation and does not place the financial or other interest of the BD or AP ahead of the interest of the retail customer. In general, when considering recommendations of types of accounts, you should consider: (a) services
Download Reg BI and Form CRS Firm Checklist - FINRA
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Discussion Paper— FINRA Perspectives on …
www.finra.org2 FINRA Perspectives on Customer Recovery | February 2018 claims that arise from other forums or that are against other types of financial firms. A holistic consideration of how customer recovery is or is not addressed across related areas of financial
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Firm Fined, Individual Sanctioned Reported for …
www.finra.org4 Disciplinary and Other FINRA Actions ardrr p5o4 State Street Global Markets, LLC (CRD #285852, Boston, Massachusetts) July 11, 2017 – An AWC was issued in which the firm was censured, fined $1,500,000, and
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www.finra.orgFinancial Industry Regulatory Authority Oversight Rules & Guidance FINRA Home About FINRA Newsroom Compliance Tools Contact Firm Gateway Sign In
15-07 - finra.org
www.finra.orgRegulatory Notice 3 cuR †… 15-07 FINRA does not intend Supplementary Material .01 to be an exhaustive list by which firms can make a reasonable determination of compliance with Section 15(a).
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www.finra.orgIf the self-regulatory organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those
Regulatory Notice 17-30 - finra.org
www.finra.orgthat for which the person is registered, unless otherwise stated in the rules. In addition, FINRA Rule 1210 addresses the following: (1) requirement to have a minimum number
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